Compliance Analyst, Finance & Banking

Miami, FL 33130, USA
West Palm Beach, FL, USA
The Villages, FL, USA
Tampa, FL, USA
Sarasota, FL 34236, USA

JOB SUMMARY: Assist the Consumer Compliance Officer in overseeing the development, enhancement and monitoring of a sound consumer compliance program throughout the bank.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Review advertising, promotional materials and customer communications for proper disclosures, demonstrating knowledge of deposit and loan compliance regulations.
• Review Bank website changes, new pages / content for proper disclosures in accordance with regulatory requirements.
• Coordinate updates to customer-facing to material process changes as needed.
• Review first line compliance self-testing and/or checklists, monitor for exceptions, and elevate concerns to supervisor as needed.
• Assist in quarterly compliance monitoring activities as needed.
• Assist in ongoing compliance monitoring for high risk and customer-facing third party vendors.
• Assist in testing for compliance control environment reviews and other assignments within time allowed.
• Follow-up on issues found to test for proper remediation; update issue tracking system accordingly.
• Collaborate with management and other departments to ensure policies and procedures are efficiently and effectively implemented.
• Perform research and provide compliance insights to business partners on an ad hoc basis.
• Review and update bank forms and disclosures for compliance with applicable laws and regulations as needed.
• Assist with merger & acquisition-related testing and monitoring.
• Keep the Consumer Compliance Officer informed on the progress of assignments.
• Collaborate with Internal Audit and Credit Risk Review teams, as needed.
• Keep abreast of regulatory and industry developments relative to compliance matters.
• Assist Consumer Compliance Officer in tracking and disseminating compliance information and regulatory changes to management and staff, including drafting the quarterly Risk Newsletter.
• Follow up on assigned regulatory change management cases and ensure compliance by required dates.
• Assist in maintenance and reporting of regulatory change management module within GRC tool.
• Assist in development of compliance training programs for new or changed regulations as needed.
• Assist in regulatory examination preparation, including document gathering, tracking, and research.
• Keep abreast of regulatory and industry developments relative to compliance matters.
• Maintain compliance-related procedures relative to ongoing vendor oversight, regulatory change management, and marketing compliance.
• Assist in other departmental risk assessment efforts.

EDUCATION and/or

EXPERIENCE:

• College degree or equivalent work experience required
• 3+ years experience in banking (mid-size bank experience preferred)
• 3+ years of regulatory compliance experience desirable
• Intermediate knowledge of federal and state banking laws, rules and regulations
• To perform this job successfully, an individual should have Intermediate proficiency in Microsoft Excel, Word, internet research, and database software. FIS IBS Insight, Logic Manager GRC experience desirable.
• Working knowledge of compliance monitoring tools and techniques.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
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